Neal A. Bailey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neal A Bailey, who also goes by Neal Allan Bailey, Neal Allen Bailey, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1990. Neal had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2024 - May 27, 2025
ALLIANCE-ONE INVESTMENTS, LLC
July 13, 2018 - October 1, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 5, 2011 - July 13, 2018
STRATEGIC ADVISERS LLC
September 27, 2011 - October 1, 2021
FIDELITY BROKERAGE SERVICES LLC
November 24, 2009 - September 1, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 29, 2009 - September 1, 2011
TD AMERITRADE, INC.
October 26, 2009 - September 1, 2011
TD AMERITRADE, INC.
September 13, 2007 - February 24, 2009
UBS FINANCIAL SERVICES INC.
September 13, 2007 - February 24, 2009
UBS FINANCIAL SERVICES INC.
June 19, 2007 - August 23, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 1, 2007 - August 23, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 23, 1997 - January 4, 2006
CHARLES SCHWAB & CO., INC.
September 5, 1996 - January 6, 1997
QUICK & REILLY, INC.
July 1, 1996 - September 6, 1996
QUEST CAPITAL STRATEGIES, INC.
July 31, 1993 - September 13, 1994
CITIGROUP GLOBAL MARKETS INC.
June 30, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 25, 1991 - June 29, 1992
UBS FINANCIAL SERVICES INC.
February 5, 1991 - May 24, 1991
AMERIPRISE ADVISOR SERVICES, INC.
December 3, 1990 - February 13, 1991
IDS LIFE INSURANCE COMPANY
December 3, 1990 - February 13, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationCurrent Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
